Bruce J. Steiger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bruce Jeffrey Steiger was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1977. Bruce had worked at 14 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2017 - December 7, 2018
ALLSTATE FINANCIAL SERVICES, LLC
September 25, 2014 - September 22, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
October 25, 2012 - April 14, 2014
ALLSTATE FINANCIAL SERVICES, LLC
January 3, 2011 - September 12, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
May 19, 2009 - September 13, 2010
FIRST INDEPENDENT ADVISORY SERVICES, INC.
April 16, 2009 - September 13, 2010
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
September 11, 2007 - February 18, 2009
MADISON AVENUE ADVISORS, INC.
September 4, 2007 - February 18, 2009
MADISON AVENUE SECURITIES, LLC
February 24, 2006 - August 15, 2007
NEW ENGLAND SECURITIES
January 31, 2006 - August 15, 2007
NEW ENGLAND SECURITIES
September 25, 2002 - February 2, 2006
MML INVESTORS SERVICES, LLC
August 5, 2002 - February 2, 2006
MML INVESTORS SERVICES, LLC
September 30, 1999 - July 30, 2002
OSAIC FS, INC.
March 18, 1999 - October 29, 1999
COSTA FINANCIAL SECURITIES, INC.
September 30, 1997 - October 5, 1999
THE LEADERS GROUP, INC.
November 3, 1994 - August 29, 1997
VOYA FINANCIAL PARTNERS, LLC
March 26, 1992 - August 4, 1994
JOHN HANCOCK DISTRIBUTORS LLC
December 2, 1977 - August 20, 1991
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/22/1977
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
